DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S•••••• W••••• P•••••••
Legal name S•• F•••••••• L••
Latest filing Jul 14, 2026
First filing on the tape Sep 18, 2023 · 14 filings
SEC status approved since Oct 31, 2023
RAUM
$239M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
100%
$239M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$79.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$239M as of Jul 14, 2026
Mar 4, 2024$159M then
HNW client RAUM$147M as of Jul 14, 2026
Mar 4, 2024$103M then
State-registered IARs (5.B.3)3 as of Jul 14, 2026
Mar 4, 20243 then
Employees (5.A)4 as of Jul 14, 2026
Mar 4, 20244 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 3 to 3offices 0 to 2
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $79.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $293,010derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $9.2M, 26 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$147M61%
- Individuals$92.3M39%
- Individual clients
- 140reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 817reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.2M for 26 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• E•••• S••••Certified Financial Planner, Chartered Financial Consultant | Encinitas, Ca | Oct 31, 2023 | 26 y | 1 |
| A•••••• S•••••• W••••• | Encinitas, Ca | Oct 31, 2023 | 16 y | 1 |
| R•••••• J••••• V••••••• | Encinitas, Ca | Oct 31, 2023 | 13 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P••••• E•••• S•••• from A••••••••• F•••••••• S•••••••• L••Oct 31, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- R•••••• J••••• V••••••• from A••••••••• F•••••••• S•••••••• L••Oct 31, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••••• S•••••• W••••• from A••••••••• F•••••••• S•••••••• L••Oct 31, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••••• F•••••••• S•••••••• L••Nov 7, 2023 · Escondido, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• P•••••• E•••• · Managing Member & Chief Compliance Officercontrolsince 10/2023 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Encinitas, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 824 to 817Mar 20, 2025 to Mar 2, 2026
- HNW clients · 64 to 53Mar 20, 2025 to Mar 2, 2026
- Individual clients · 158 to 140Mar 20, 2025 to Mar 2, 2026
- Assets in custody · $7.3M to $9.2MMar 20, 2025 to Mar 2, 2026
- Employees · 5 to 4Mar 20, 2025 to Mar 2, 2026
- HQ city · SAN DIEGO to ENCINITASMar 20, 2025 to Mar 2, 2026
- Other offices · 0 to 2Mar 20, 2025 to Mar 2, 2026
- Discretionary RAUM · $155M to $195MMar 20, 2025 to Mar 2, 2026
- HNW RAUM · $140M to $147MMar 20, 2025 to Mar 2, 2026
- Individual RAUM · $60.1M to $92.3MMar 20, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $44.7M to $44.6MMar 20, 2025 to Mar 2, 2026
- RAUM · $200M to $239MMar 20, 2025 to Mar 2, 2026
- Accounts · 737 to 824Mar 4, 2024 to Mar 20, 2025
- Advisory activities · 3 to 4Mar 4, 2024 to Mar 20, 2025
- HNW clients · 55 to 64Mar 4, 2024 to Mar 20, 2025
- Individual clients · 136 to 158Mar 4, 2024 to Mar 20, 2025
- Assets in custody · $159M to $7.3MMar 4, 2024 to Mar 20, 2025
- Employees · 4 to 5Mar 4, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 101-250Mar 4, 2024 to Mar 20, 2025
- Discretionary RAUM · $126M to $155MMar 4, 2024 to Mar 20, 2025
- HNW RAUM · $103M to $140MMar 4, 2024 to Mar 20, 2025
- Individual RAUM · $55.3M to $60.1MMar 4, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $32.6M to $44.7MMar 4, 2024 to Mar 20, 2025
- RAUM · $159M to $200MMar 4, 2024 to Mar 20, 2025
- Accounts · 789 to 737Feb 8, 2024 to Mar 4, 2024
- Advisory employees · 2 to 3Feb 8, 2024 to Mar 4, 2024
- Corporate clients · 1.0 to unsetFeb 8, 2024 to Mar 4, 2024
- Assets in custody · $166M to $159MFeb 8, 2024 to Mar 4, 2024
- State-registered IARs · 4 to 3Feb 8, 2024 to Mar 4, 2024
- Discretionary RAUM · $128M to $126MFeb 8, 2024 to Mar 4, 2024
- HNW RAUM · $105M to $103MFeb 8, 2024 to Mar 4, 2024
- Individual RAUM · $60.1M to $55.3MFeb 8, 2024 to Mar 4, 2024
- Non-discretionary RAUM · $37.9M to $32.6MFeb 8, 2024 to Mar 4, 2024
- RAUM · $166M to $159MFeb 8, 2024 to Mar 4, 2024
- Accounts · 0 to 789Dec 11, 2023 to Feb 8, 2024
- Corporate clients · unset to 1.0Dec 11, 2023 to Feb 8, 2024
- HNW clients · unset to 55.0Dec 11, 2023 to Feb 8, 2024
- Individual clients · unset to 136.0Dec 11, 2023 to Feb 8, 2024
- Assets in custody · unset to 166000000.0Dec 11, 2023 to Feb 8, 2024
- Custody of client assets · false to trueDec 11, 2023 to Feb 8, 2024
Signals
4 dated events
- 3 advisors left A••••••••• F•••••••• S•••••••• L•• (Escondido, CA) for S•••••• W••••• P••••••• a day apartNov 7, 2023 · Team lift-out · derived
- Edwin Philip Smith (Managing Member & Chief Compliance Officer) appeared on Schedule A of S•••••• W••••• P•••••••Oct 31, 2023 · Control person joined · fact
- Harrison Taelim Yaste (Chief Compliance Officer & Chief Executive Officer) no longer on Schedule A of S•••••• W••••• P••••••• (listed 2023-10-24, absent 2023-10-31)Oct 31, 2023 · Control person left · inference
- S•••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Sep 18, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- t•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 858-768-0096reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S••••••-WEALTH-P•••••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••••WEALTHP•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858-768-0096reportedpublic record, Form ADV, Jul 14, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $79.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026